Tag: FINRA

Lumesis’ DIVER Advisor software, a cloud-based platform, was added to LPL Financial’s suite for advisers.

A report from the Financial Industry Regulatory Authority (FINRA) scrutinizes  conflicts of interest in the broker/dealer industry to highlight effective practices to eradicate such conflicts.

The Financial Industry Regulatory Authority (FINRA)’s board  approved a proposal requiring brokers to disclose compensation paid as an incentive to move to a new firm.

At its first-ever Financial Advisor Summit, the institute unveiled a new website, social network and additional tools to help members grow their businesses.

LIMRA is offering a new training program by social media expert Erik Qualman, author of Socialnomics.  

Jonathan S. Sokobin has been named chief economist and senior vice president of the Financial Industry Regulatory Authority (FINRA).

Susan Axelrod will become executive vice president of regulatory operations at the Financial Industry Regulatory Authority (FINRA).

Legislation introduced by Congresswoman Maxine Waters would give the Securities and Exchange Commission (SEC) the authority to impose user fees on investment advisers.

It is increasingly being used as a business tool, but users can run into compliance issues on social media when they tweet or post an update.

Even with recent guidance from regulators about the correct use of social media, advisers still have plenty of questions about compliance.

The Securities and Exchange Commission (SEC) released an update to clarify how investment companies can use social media without running into filing requirements.  

Steven J. Randich was named executive vice president and chief information officer (CIO) by the Financial Industry Regulatory Authority (FINRA).  

The Financial Industry Regulatory Authority (FINRA) fined five affiliates of ING $1.2 million for failing to retain or review millions of emails.

Assets grew 19.1% in 2011 for advisers registered both as registered investment advisers (RIAs) and as brokers, Cerulli found.

The Financial Industry Regulatory Authority (FINRA) fined Merrill Lynch, Pierce, Fenner & Smith Inc. $500,000 for failing to file hundreds of required reports.

The Financial Industry Regulatory Authority (FINRA) announced that Vice Chairman Stephen Luparello is leaving to join the WilmerHale law firm in Washington, D.C.

Reporting capabilities for Form PF were added to the alternatives product suite of services for J.P. Morgan Worldwide Securities Services.

Global Relay updated its Twitter archiving software to help advisers meet Securities and Exchange Commission (SEC) as well as Financial Industry Regulatory Agency (FINRA) regulations.

FINRA’s proposed fee hikes for new applications and branch office registrations would force many independent broker/dealers (IDBs) out of business, the Financial Services Institute (FSI) said.